DFX Intelligence

Data Factory

W••••••••• C••••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

W••••••••• C••••••• A••••••• L••

CRD 281511

MORRISTOWN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:94ff551b-00d5-42c6-d783-a966a4ab87ce

Data as of Apr 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 23
On other graphs: 0
Observed: Dec 5, 2016 to Apr 22, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.01 institutional_share=0.06 related_bd=true related_bank=true bd_reps=5.0 bank_owner=false
Regulatory AUM: $2.0BItem 5.F on the latest filing (2026-04-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.0B
Private client RAUM: $1.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• R•••••• C••••	Chartered Financial Analyst	MORRISTOWN, NJ	9	32	1	yes
C••• A••••• M•••••••••	n/a	MORRISTOWN, NJ	9	32

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• K••••• R••••••	CO-CHIEF INVESTMENT OFFICER	Na	yes	05/2016	Apr 22, 2026	Apr 22, 2026
M••••••••• C•••• A•••••	CO-CHIEF INVESTMENT OFFICER	Na	yes	05/2016	Apr 22, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• N••••••• • C••••••• I•••••••••	n/a	National bd RIA	$198B	N	yes	Mo
1••• I••••••••• C••••••• L••	n/a	I•••••••••_WEALTH	$26B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	yes
Chicago	IL	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 10 of 11

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.0B	$2.1B	-5.1%	$3.1B	-13.2%	10	10	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
1••• I••••••••• C••••••• L••	2	Mar 31, 2023	Dec 18, 2022	SAN FRANCISCO, CA	Team lift out	RIA to RIA	33.3%

Relationships

Affiliated with (13)

← S••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•••••• N••••••• • C••••••• I•••••••••Registered adviserother investment adviser, common control
factForm ADV
← 1••• I••••••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ 1••• I••••••••• C••••••• L••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Mar 28, 2024
Regulatory AUM changed
W••••••••• C••••••• A••••••• L•• reported RAUM $1.9B, down 37% from $3.1B (2023-03-31 to 2024-03-28)
Form ADVobserved 6 days ago
$-1.2B
Occurred
Mar 31, 2023
Team lift-out
2 advisors left W••••••••• C••••••• A••••••• L•• (San Francisco, CA) for 1••• I••••••••• C••••••• L•• on the same day
Form ADVobserved 5 days ago
2 advisors
Occurred
Mar 31, 2023
Advisor changed firm
Richard Keith Marrone left W••••••••• C••••••• A••••••• L•• for 1••• I••••••••• C••••••• L•• (registered 2022-12-18)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:94ff551b-00d5-42c6-d783-a966a4ab87ce
First observed: Dec 5, 2016
Last observed: Apr 22, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.